Compliance - Insider Trading & Personal Trading
19 views | +0 today
Follow
Your new post is loading...
Your new post is loading...
Scooped by Gemma Whiteley
Scoop.it!

Bay Area men accused in $12 million insider trading scheme - SFGate

Bay Area men accused in $12 million insider trading scheme - SFGate | Compliance - Insider Trading & Personal Trading | Scoop.it
KCRA Sacramento Bay Area men accused in $12 million insider trading scheme SFGate The Securities and Exchange Commission accused a former securities broker, a former Ross Stores financial supervisor and two other Bay Area men Friday of insider...
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

Five famous insider trading cases

Five famous insider trading cases | Compliance - Insider Trading & Personal Trading | Scoop.it
From Martha Stewart to Wall Street hedge fund kings, there have been a number of high-profile convictions related to insider trading. (Martha Stewart isn't the only high-profile insider trading conviction.
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

Icahn, Mickelson insider trading case hard to prove - LocalNews8.com

Icahn, Mickelson insider trading case hard to prove - LocalNews8.com | Compliance - Insider Trading & Personal Trading | Scoop.it
LocalNews8.com Icahn, Mickelson insider trading case hard to prove LocalNews8.com "I don't think the FBI has a clear and coherent legal theory of what has been done wrong that would violate insider trading laws," said John Coffee, professor of...
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

SAC Capital Agrees To Pay $1.8 Billion In Largest Insider Trading Settlement In History

SAC Capital Agrees To Pay $1.8 Billion In Largest Insider Trading Settlement In History | Compliance - Insider Trading & Personal Trading | Scoop.it
SAC Capital also agreed to be placed on probation for five years, and employ a compliance consultant, former federal prosecutor Bart Schwartz.
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

Rajaratnam's Little Brother Awaits Important Insider Trading Ruling - Wall Street Journal (blog)

Rajaratnam's Little Brother Awaits Important Insider Trading Ruling - Wall Street Journal (blog) | Compliance - Insider Trading & Personal Trading | Scoop.it
Rajaratnam's Little Brother Awaits Important Insider Trading Ruling Wall Street Journal (blog) The younger brother of convicted hedge fund manager Raj Rajaratnam will likely have to wait for an appeals court's decision in an important insider...
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

Target lawsuit a 'call to action' for PCI DSS compliance - iT News

Wall Street Journal Target lawsuit a 'call to action' for PCI DSS compliance iT News The lawsuit against US retailer Target and its security partner Trustwave should be a call to action for organisations that are not fully compliant with the latest...
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

Insider Trading Alert - VNR, ENV And SJM Traded By Insiders - TheStreet.com

Insider Trading Alert - VNR, ENV And SJM Traded By Insiders - TheStreet.com | Compliance - Insider Trading & Personal Trading | Scoop.it
Insider Trading Alert - VNR, ENV And SJM Traded By Insiders
TheStreet.com
Editor's Note: Any reference to TheStreet Ratings and its underlying recommendation does not reflect the opinion of TheStreet, Inc.
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

Banks and Capital Markets Firms Expect to Increase Investment in Compliance ... - Business Wire (press release)

Banks and Capital Markets Firms Expect to Increase Investment in Compliance ... - Business Wire (press release) | Compliance - Insider Trading & Personal Trading | Scoop.it
Banks and Capital Markets Firms Expect to Increase Investment in Compliance ...
more...
No comment yet.
Rescooped by Gemma Whiteley from Compliance - Personal and Insider Trading
Scoop.it!

Brothers fined $5M in Heinz insider-trading case - USA TODAY

Brothers fined $5M in Heinz insider-trading case - USA TODAY | Compliance - Insider Trading & Personal Trading | Scoop.it
Economic Times
Brothers fined $5M in Heinz insider-trading case
USA TODAY
Two Brazilian brothers will pay nearly $5 million to settle charges that they were responsible for suspicious trading in stock options for H.J.

Via Tim Ward
more...
No comment yet.
Rescooped by Gemma Whiteley from Compliance - Personal and Insider Trading
Scoop.it!

SAC, US to Announce Record Insider-Trading Settlement - Wall Street Journal

SAC, US to Announce Record Insider-Trading Settlement - Wall Street Journal | Compliance - Insider Trading & Personal Trading | Scoop.it
SAC, US to Announce Record Insider-Trading Settlement Wall Street Journal Hedge-fund group SAC Capital Advisors LP and federal prosecutors in Manhattan are expected to announce a record insider-trading settlement Monday, according to a person...

Via Tim Ward
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

Remember these notorious insider trading cases?

As Wall Street keeps its eyes on an investigation involving Phil Mickelson, William T. Walters and Carl Icahn, here are some others that made headlines.
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

LA Merchant Gets Prison for Insider Trading Scam - ABC News

LA Merchant Gets Prison for Insider Trading Scam - ABC News | Compliance - Insider Trading & Personal Trading | Scoop.it
LA Merchant Gets Prison for Insider Trading Scam
ABC News
A jewelry store owner who prosecutors say made about $1.6 million trading on inside information from KPMG has been sentenced to five months in federal prison.
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

Ex-SAC manager gets 42 months in jail for insider trading - The West Australian

Ex-SAC manager gets 42 months in jail for insider trading - The West Australian | Compliance - Insider Trading & Personal Trading | Scoop.it
The West Australian
Ex-SAC manager gets 42 months in jail for insider trading
The West Australian
Cohen has not been charged criminally.
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

Ex-Novum Securities broker pleads guilty to insider trading - FT.com

Ex-Novum Securities broker pleads guilty to insider trading - FT.com | Compliance - Insider Trading & Personal Trading | Scoop.it
A former broker at Novum Securities received a two-year suspended sentence after pleading guilty to insider-trading charges.
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

Exclusive: Former Qwest CEO shares his insider-trading story

Former Qwest Communications CEO Joe Nacchio speaks to FBN’s Maria Bartiromo in his first TV interview since being released from prison for insider trading.
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

OSC seeks wiretap abilities for insider trading probes - The Globe and Mail

OSC seeks wiretap abilities for insider trading probes - The Globe and Mail | Compliance - Insider Trading & Personal Trading | Scoop.it
Financial Post OSC seeks wiretap abilities for insider trading probes The Globe and Mail The Ontario Securities Commission is seeking federal rule changes to allow its investigators to be able to use wiretaps during investigations of illegal...
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

Kuwait fines Ahli Bank chairman $5.3mn over insider trading

Kuwait fines Ahli Bank chairman $5.3mn over insider trading | Compliance - Insider Trading & Personal Trading | Scoop.it
Traders follow the stock market activity at the Kuwait Stock Exchange in Kuwait City. Shares in...
more...
No comment yet.
Scooped by Gemma Whiteley
Scoop.it!

An insider-trading conviction condemns Steve Cohen to becoming ...

An insider-trading conviction condemns Steve Cohen to becoming ... | Compliance - Insider Trading & Personal Trading | Scoop.it
US federal prosecutors threw the book today at SAC Capital Advisors, forcing the hedge fund to plead guilty to insider trading and pay a total of $1.8 billion to the government, the largest penalty ever for the offense.
more...
No comment yet.
Rescooped by Gemma Whiteley from Compliance - Personal and Insider Trading
Scoop.it!

Sydney Duo Made $20000 On An Insider Trade, Could Get 10 Years In Jail As ... - Business Insider Australia

Sydney Duo Made $20000 On An Insider Trade, Could Get 10 Years In Jail As ... - Business Insider Australia | Compliance - Insider Trading & Personal Trading | Scoop.it

Sydney Duo Made $20000 On An Insider Trade, Could Get 10 Years In Jail As ...


Via Tim Ward
more...
No comment yet.
Rescooped by Gemma Whiteley from Compliance - Personal and Insider Trading
Scoop.it!

Insider trading gets more scrutiny, but convictions may not flow - The Conversation

Insider trading gets more scrutiny, but convictions may not flow - The Conversation | Compliance - Insider Trading & Personal Trading | Scoop.it
Insider trading gets more scrutiny, but convictions may not flow The Conversation The Australian Securities and Investments Commission is moving to “real-time” monitoring of share trading as another weapon in the ongoing fight against insider...

Via Tim Ward
more...
No comment yet.